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Results: 1-10 of 93

PLUS D&O Symposium 2012 -- Day 1 first panel: latest trends in securities litigation and Dodd-Frank
  • Locke Lord LLP
  • USA
  • February 8 2012

The first panel of the 2012 PLUS D&O Symposium discussed some of the latest trends in securities litigation and opined on potential future developments which may impact the D&O industry


The JOBS Act makes significant changes in the regulation of capital formation and the compliance landscape for many companies
  • Locke Lord LLP
  • USA
  • March 29 2012

The JOBS Act (Jumpstart Our Business Startups) was passed by Congress on March 27, 2012 and is expected to be signed soon by the President


Protocol for broker recruiting cannot strip non-signatories of rights
  • Locke Lord LLP
  • USA
  • October 10 2012

A recent decision issued by a FINRA Arbitration Panel in Massachusetts firmly rejected the argument that the terms of the Protocol for Broker Recruiting should be imposed on a non-signatory as purported industry standard


The Brocade trial: Judge Breyer may take case away from jury
  • Locke Lord LLP
  • USA
  • July 9 2007

The first criminal trial of stock options backdating conduct may end with the court finding that government prosecutors failed to present sufficient evidence of intent to support a conviction


The Brocade trial: an important defense gets in the door
  • Locke Lord LLP
  • USA
  • July 3 2007

Until last Friday, Greg Reyes, Brocade's former CEO, had been unable raise an important aspect of his defense: Brocade was only one of many companies that allegedly manipulated stock options grants


The Brocade trial: Judge Breyer postpones decision on motion to dismiss
  • Locke Lord LLP
  • USA
  • July 20 2007

On July 19, 2007, Judge Breyer deferred, for the second time, his decision on the pending motion to dismiss in the Brocade stock options backdating trial


SEC releases competing proposals for shareholder participation in contested elections
  • Locke Lord LLP
  • USA
  • July 30 2007

On July 27, 2007, the Securities and Exchange Commission posted two separate proposing releases that relate to shareholder access to a public company’s proxy ballot in connection with director elections


Second Brocade executive convicted in backdating prosecution
  • Locke Lord LLP
  • USA
  • December 7 2007

On December 5, 2007, following a 5 12 day trial in the U.S. District Court for the Northern District of California, a jury convicted Brocade's former head of human resources, Stephanie Jensen, of falsifying corporate records and conspiracy


Delaware Court of Chancery orders disclosure of special committee communications with counsel
  • Locke Lord LLP
  • USA
  • December 20 2007

In a seemingly routine discovery order issued in the Maxim stock-option backdating case, the Delaware Court of Chancery issued a decision that could have major ramifications for special committee practice


SEC launches options backdating suit against Broadcom executives
  • Locke Lord LLP
  • USA
  • June 5 2008

The SEC has filed a civil action against four Broadcom executives and its General Counsel in connection with alleged options backdating activity at the company between 1998 and 2003